Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Texas Businessman Used Investor Funds to Pay for Russian Bride Dating Site: Enforcement
By Emily ZulzIn other enforcement actions, the SEC charged a former Equifax manager with insider trading.
June 27, 2018
FINRA Revs Up CRD, BrokerCheck OverhaulThe BD regulator's heightened review of brokers' backgrounds kicks in this month.
June 27, 2018
Trump's IRS Nominee to Face Questions on Management ExperienceCharles Rettig has spent decades helping wealthy people fight the agency's efforts to collect taxes.
June 26, 2018
Morgan Stanley Names Former SEC Chair Shapiro to BoardThe former regulator is also on the boards of CVS, London Stock Exchange and GM.
June 25, 2018
SEC Releases Another Updated FAQ on Custody RuleCipperman urges SEC to stop issuing custody rule FAQs and rewrite the rule instead.
June 25, 2018
Wells Fargo Agrees to $5M SEC SettlementThe regulatory group says the misconduct was tied to sales of market-linked investments, or MLIs, from 2009 to 2013.
June 22, 2018
FINRA Hits Betterment With $400K FineRegulators highlight a long list of ways the robo-advisor failed to meet its requirements during its startup period.
June 22, 2018
OMB's Government Reorg Plan Tackles Financial Literacy, CybersecurityThe OMB's plan, which involves merging the Labor and Education departments, has many other far-reaching provisions.